Proskauer Whistleblower Defense

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Pinchos Goldberg

Associate
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Pinny Goldberg is an associate in the Labor & Employment Law Department. Pinny represents employers in a broad array of matters before federal and state courts, FINRA and other arbitration panels, and administrative agencies, including the EEOC and its state equivalents, and in pre-litigation negotiations. Matters he works on include discrimination and harassment, wage and hour, wrongful discharge, whistleblowing and retaliation, covenants not to compete, breaches of fiduciary duty, unjust enrichment, and tort and contract claims.

In addition to handling litigation and dispute resolution, Pinny regularly advises clients on a wide variety of employment issues, including drafting, reviewing and revising handbooks and workplace policies. He also addresses questions and concerns related to hiring, wage and hour issues, employee leave, performance problems, terminations of employment, and separation agreements and releases.

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SEC Awards $22 Million to Two Whistleblowers

By Steven J. Pearlman and Pinchos Goldberg on Posted in SEC
On May 10, 2021, the SEC’s Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action against a financial services firm.  (The order granting the awards can be accessed here.)  The larger of the two awards, $18 million, was … Continue Reading

Pennsylvania District Court Grants Employer Summary Judgment on SOX Claim

By Steven J. Pearlman, Pinchos Goldberg and Rebecca Fishbein on Posted in SOX Whistleblower Decisions
On March 29, 2021, the U.S. District Court for the Eastern District of Pennsylvania granted a defendant-employer’s motion for summary judgment on a SOX whistleblower retaliation claim, holding that the plaintiff lacked an objectively or subjectively reasonable belief that the company violated any law enumerated in Section 806 of SOX.  Ngai v. Urban Outfitters, Inc., … Continue Reading

6th Circuit: FCA Whistleblower Protections Extend to Post-Employment Retaliation

By Steven J. Pearlman, Pinchos Goldberg and Julia Hollreiser on Posted in False Claims Act
On March 31, 2021, the Sixth Circuit addressed an issue of first impression in the circuit, holding that the False Claims Act’s (“FCA”) whistleblower protection provisions protect former employees from post-employment retaliation.  United States, ex rel. Felten v. William Beaumont Hospital, No. 20-1002. Background Plaintiff was employed as a doctor at a Michigan hospital.  He … Continue Reading

7th Circuit Affirms Denial of Equitable Tolling of Statute of Limitations Under SOX

By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
On March 22, 2021, the Seventh Circuit affirmed a decision by the ARB dismissing a whistleblower retaliation complaint under SOX for failure to file within the 180-day statutory deadline.  Xanthopoulos v. U.S. Department of Labor, No. 20-2604.  The court rejected the plaintiff’s equitable tolling arguments. Background Plaintiff was an employee of an investment company, and … Continue Reading

ARB Affirms Dismissal of SOX Whistleblower Claim for Lack of Protected Activity

By Steven J. Pearlman, Pinchos Goldberg and Julia Hollreiser on Posted in Key ARB Decisions
On December 17, 2020, the Administrative Review Board (“ARB”) of the U.S. Department of Labor affirmed the dismissal of a former employee’s whistleblower retaliation claim under Section 806 of SOX.  The ARB concluded that the Complainant did not engage in protected activity, noting that his complaints regarding a lack of what he characterized as “internal … Continue Reading

Whistleblower Attorney Challenges SEC Final Rule Changing Its Whistleblower Program

By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in SEC
On January 13, 2021, a New York whistleblower attorney filed a lawsuit in the U.S. District Court for the District of Columbia challenging a recent final rule adopted by the Securities and Exchange Commission (the “Commission or “SEC”) which made several changes to the SEC’s whistleblower program. The SEC Final Rule The final rule was … Continue Reading

Fifth Circuit Affirms Dismissal of SOX Whistleblower Claim for Lack of Employer-Employee Relationship

By Steven J. Pearlman, Pinchos Goldberg and Rebecca Fishbein on Posted in SOX Whistleblower Decisions
On January 29, 2021, the U.S. Court of Appeals for the Fifth Circuit affirmed the dismissal of a SOX whistleblower retaliation claim where the plaintiff failed to establish an employer-employee relationship with the defendant.  Moody v. Am. Nat’l Ins. Co., No. 20-cv-40462. Background Plaintiff was the owner and president of Moody Insurance Group (“MIG”).  MIG … Continue Reading

Bloomberg: SEC Receives Record Number of Whistleblower Tips From Remote Employees

By Harris Mufson and Pinchos Goldberg on Posted in SEC
A recent Bloomberg article reports that whistleblower complaints to the SEC have soared as employees have been working from home during the COVID-19 pandemic.  According to the article, the SEC received 6,900 complaints in the fiscal year that ended on September 30, 2020 – a 31% jump from the previous 12-month record. The article discusses … Continue Reading

CFTC Releases 2020 Annual Report on its Whistleblower Program

By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in CFTC
The Commodity Futures Trading Commission (“CFTC”) recently released its 2020 Annual Report on the status of its whistleblower program for the fiscal year ending on September 30, 2020. The report, prepared by the CFTC’s Whistleblower Office (“WBO”), contains statistics on the tips received and awards granted during the previous fiscal year, describes the WBO’s recent … Continue Reading

SEC Announces Record-Breaking $114 Million Award to Whistleblower

By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
On October 22, 2020, the SEC announced an award of over $114 million to a whistleblower who, after reporting internally to their employer, provided the SEC with information and assistance that led to the successful enforcement of SEC and related actions.  The $114 million award consists of an approximately $52 million award in connection with … Continue Reading

Ga. District Court Dismisses Dodd-Frank and SOX Whistleblower Claims

By Steven J. Pearlman, Pinchos Goldberg and Melissa A. Overbeck on Posted in Dodd Frank, SOX Whistleblower Decisions
On September 30, 2020, the U.S. District Court for the Northern District of Georgia granted an employer’s motion to dismiss a Dodd-Frank whistleblower claim on the ground that the alleged whistleblower did not complain to the SEC prior to his termination.  The court also granted Plaintiff’s SOX whistleblower claim as against three affiliates of Plaintiff’s … Continue Reading

SEC Awards Almost $30 Million to Two Insider Whistleblowers

By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
On September 30, 2020, the SEC’s Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action.  (The order granting the awards can be accessed here.)  The larger of the two awards, $22 million, is one of the SEC’s … Continue Reading

SEC Amends Whistleblower Program Rules

By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SEC
On September 23, 2020, by a vote of 3 to 2, the U.S. Securities and Exchange Commission announced the adoption of a final rule implementing several changes to its whistleblower program, citing the need to “provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.”  The following addresses the key provisions of the … Continue Reading

Third Circuit Confirms Limits on Scope of Protected Activity Under SOX

By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated forms of fraud in the SOX whistleblower provision.  Reilly v. GlaxoSmithKline, LLC, No. 19-cv-2897. Background Plaintiff was an IT analyst for … Continue Reading

ARB Denies Equitable Tolling of 180-Day Statute of Limitations Under SOX

By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in Dodd Frank, Key ARB Decisions
On June 29, 2020, the Administrative Review Board (“ARB”) upheld the dismissal of a whistleblower retaliation complaint under Section 806 of the Sarbanes-Oxley Act (“SOX”) for failure to file within the 180-day statutory deadline.  Xanthopoulos v. Marsh & McLennan Companies, Inc., ARB Case No. 2019-0045 (June 29, 2020). Background Complainant was an employee of Mercer … Continue Reading

ARB Rules That Complaints about Theoretical Violations are not Protected Whistleblowing Activity under Dodd-Frank

By Lloyd B. Chinn, Pinchos Goldberg and Heylee Bernstein on Posted in Dodd Frank, DOL Decisions
On June 18, 2020, the U.S. Department of Labor Administrative Review Board (“ARB”) held that a complaint about a theoretical violation of the Dodd-Frank Wall Street Reform and Consumer Financial Protection Act of 2010 (“Dodd-Frank”) does not constitute protected activity under the whistleblower provisions of that statute.  Bryan Horn v. University First Federal Credit Union, … Continue Reading

Texas District Court Dismisses SOX Whistleblower Claim for Lack of Employer-Employee Relationship

By Lloyd B. Chinn, Pinchos Goldberg and Alex Downie on Posted in SOX Whistleblower Decisions
On June 12, 2020, the U.S. District Court for the Southern District of Texas granted a motion to dismiss in favor of the defendant in a SOX whistleblower retaliation case, finding that the alleged whistleblower – a contractor and advisory board member of the defendant – was not an employee of the defendant, as required … Continue Reading

COVID-19 Whistleblower Protection Bill Introduced Into Congress

By Steven J. Pearlman, Lloyd B. Chinn, Pinchos Goldberg and Tony S. Martinez on Posted in Legislation
On June 15, 2020, Senator Kamala Harris and Representatives Jackie Speier and Jamie Raskin introduced the COVID-19 Whistleblower Protection Act (the “Act”), which seeks to provide protections for employees who blow the whistle on employers who misuse federal funds received through various measures enacted by Congress aimed at mitigating the impact of the coronavirus pandemic. … Continue Reading

SEC Announces Record-Breaking $50 Million Award to Whistleblower

By Lloyd B. Chinn, Pinchos Goldberg and Dominique Kilmartin on Posted in SEC
On June 4, 2020, the SEC announced a nearly $50 million award to a whistleblower who provided the SEC with detailed, first-hand information that assisted the agency in bringing a successful enforcement action.  While tipsters have previously shared a $50 million award, this is the largest amount ever awarded to a single whistleblower under the … Continue Reading

Reuters: SEC Eager to Prosecute COVID-19 Misconduct Amid Flurry of Whistleblower Complaints

By Harris Mufson, Pinchos Goldberg and Dominique Kilmartin on Posted in SEC
A Reuters article published on May 26, 2020 reports that the SEC has experienced an uptick in complaints amid the COVID-19 pandemic.  According to the article, the SEC received about 4,000 complaints from mid-March through mid-May – a 35% increase from the previous year.  With an abundance of tips at its disposal, the SEC is … Continue Reading

Pennsylvania Magistrate Judge Recommends Dismissal of SOX Whistleblower Claim for Lack of Protected Activity

By Steven J. Pearlman, Pinchos Goldberg and Heylee Bernstein on Posted in SOX Whistleblower Decisions
On May 5, 2020, a Magistrate Judge in the U.S. District Court for the Western District of Pennsylvania issued a report and recommendation recommending that a defendant-employer’s motion for summary judgment dismissing a SOX whistleblower retaliation claim be granted, finding that the plaintiff had not engaged in protected activity.  Wutherich v. Rice Energy Inc, No. … Continue Reading
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